Sr Analyst, Hybrid IA Compliance

Senior Analyst for Regulatory Services Opportunity in Financial Services

Senior Analyst, Hybrid IA Compliance

Location(s) :

Atlanta : 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339

La Vista : 12325 Port Grace Blvd, La Vista, NE 68128

Oakdale : 7755 3rd St. N, Oakdale, MN 55128

Scottsdale : 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg : 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type : Full-time

Salary : $90,000 - $100,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page.

Summary :

Senior Analyst, Hybrid IA Compliance will be responsible for providing oversight functions to Financial Professionals that provide investment advisory services to clients through an Independent RIA or that provide investment advisory services in a dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other compliance responsibilities, including development and implementation of regular reporting, surveillance reviews and corrective action related to monitoring of the investment advisory business, under the direction of the Director of IA Compliance Policies, Procedures & Testing. This position involves daily interpreting and applying compliance policies and procedures to business practices, communicating with Financial Professionals and other functions of the Investment Advisory Compliance team.

An ideal candidate must :

• Have a thorough understanding of the securities industry
• Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously
• Work well in a fast-paced and complex collaborative environment
• Excellent interpersonal, troubleshooting and communication skills
• Proficiency in MS Excel

Education Requirements :

Responsibilities :

Basic Requirements :

Preferred Requirements :